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the regulated activity, specified in article 51ZC of the Regulated Activities Order, which is, in summary, performing at least risk management or portfolio management for an AIF.
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the regulated activity, specified in article 57 of the Regulated Activities Order (Managing the underwriting capacity of a Lloyd's syndicate), of managing the underwriting capacity of a Lloyd's syndicate as a managing agent at Lloyd's.
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the regulated activity, specified in article 51ZA of the Regulated Activities Order of carrying on collective portfolio management within the meaning of the UCITS Directive, in relation to a UCITS.
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the regulated activity, specified in article 63N(1)(b) of the Regulated Activities Order, which is the acceptance of a transfer by a bank or building society of the balance of a dormant account, or a proportion of such a balance, and the management of those funds (including the investment of such funds) in such a way as to enable the dormant account fund operator to meet whatever repayment claims it is prudent to anticipate.
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an agreement in the form prescribed by the Society, between a managing agent and a member, under which the managing agent manages the insurance business of that member.
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the regulated activity, specified in article 37 of the Regulated Activities Order (Managing investments), which is in summary: managing assets belonging to another person in circumstances which involve the exercise of discretion, if:(a) the assets consist of or include any security or contractually based investment (that is, any designated investment, funeral plan contract or right to or interest in a funeral plan contract); or(b) the arrangements for their management are such that the assets may consist of or include such investments, and either the assets have at any time since 29 April 1988 done so, or the arrangements have at any time (whether before or after that date) been held out as arrangements under which the assets would do so.
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(as defined in article 3(1) of the Regulated Activities Order) a person who is permitted by the Council in the conduct of his business as an underwriting agent to perform for a member one or more of the following functions:(a) underwriting contracts of insurance at Lloyd's;(b) reinsuring such contracts in whole or in part;(c) paying claims on such contracts.
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one of the following:(a) (in accordance with Article 4(20)of the Banking Consolidation Directive (Definitions)) a parent undertaking, other than a financial holding company, a credit institution or a mixed financial holding company, the subsidiary undertakings of which include at least one credit institution; or(b) (in accordance with Articles 2(2) and 37(1) of the Capital Adequacy Directive (Supervision on a consolidated basis) and in relation to a banking and investment group without any credit institutions in it) a parent undertaking, other than a financial holding company, an investment firm or a mixed financial holding company, the subsidiary undertakings of which include at least one investment firm.
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(in accordance with Article 2(15) of the Financial Groups Directive (Definitions)) a parent undertaking, other than a regulated entity, which meets the following conditions:(a) it, together with its subsidiary undertakings, at least one of which is an EEA regulated entity, and other entities, constitutes a financial conglomerate;(b) it has been notified by its coordinator that its group is a financial conglomerate in accordance with Article 4(2) of the Financial Groups Directive; and(c) it has not been notified that its coordinator and other relevant competent authorities have agreed not to treat the group as a financial conglomerate in accordance with Article 3(3) or Article 3(3a) of the Financial Groups Directive.
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a firm with permission (or which ought to have permission) for arranging (see also arranging (bringing about) regulated mortgage contracts and making arrangements with a view to regulated mortgage contracts).
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(1) (in accordance with section 118(6) of the Act (Market abuse)) the behaviour described in section 118(6) of the Act, which is effecting transactions or orders to trade which employ fictitious devices or any other form of deception or contrivance.(2) (in accordance with section 118(6) of the Act (Market abuse) as modified by the RAP Regulations)) the behaviour described in section 118(6) of the Act, which is effecting transactions, bids or orders to trade which employ fictitious devices or any other form of deception or contrivance.
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(in relation to a UK recognised body) accounts showing the actual and budgeted income and expenditure of that body over any period.
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the person (including a person outside the United Kingdom) who administers the relevant scheme or (if there is no such person) the person responsible for making payments under it.
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(1) (in accordance with section 118(5) of the Act (Market abuse)) the behaviour described in section 118(5) of the Act, which is behaviour effecting transactions or orders to trade (otherwise than for legitimate reasons and in conformity with accepted market practices on the relevant market) which:(a) give, or are likely to give a false or misleading impression as to the supply of, or demand for, or as to the price of, one or more qualifying investments; or(b) secure the price of one or more such investments at an abnormal or artificial level.(2) (in accordance with section 118(5) of the Act (Market abuse) as modified by the RAP Regulations) the behaviour described in section 118(5) of the Act as modified by the RAP Regulations, which is behaviour effecting transactions, bids or orders to trade (otherwise than for legitimate reasons and in conformity with accepted market practices on the relevant auction platform) which:(a) give, or are likely to give a false or misleading impression as to the supply of, or demand for, or as to the price of, one or more qualifying investments; or(b) secure the price of one or more such investments at an abnormal or artificial level.
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for the purposes of BIPRU 9.3.7 R, BIPRU 9.4.11 R and BIPRU 9.5.1 R (6), securitisation positions to which a risk weight lower than 1250% applies and which are more junior than the most senior position in the relevant securitisation and more junior than any securitisation position in the relevant securitisation to which:(a) in the case of a securitisation position subject to the standardised approach to securitisation set out in BIPRU 9.11.1 R and BIPRU 9.11.2 R, a credit quality step 1 is assigned; or(b) in the case of a securitisation position subject to the IRB approach to securitisation set out in BIPRU 9.12.10 R and BIPRU 9.12.11 R, a credit quality step 1 or 2 is assigned under BIPRU 9.7.2 R , BIPRU 9.8.2 R to BIPRU 9.8.7 R and regulation 23 of the Capital Requirements Regulations 2006.[Note: BCD, Annex IX, Part 2, Point 1, paragraph 1b]
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(in relation to the IRB approach) BIPRU 4.3.9 R, BIPRU 4.3.11 R-BIPRU 4.3.29 R, BIPRU 4.3.33 R-BIPRU 4.3.40 R, BIPRU 4.3.43 R-BIPRU 4.3.44 R, BIPRU 4.3.46 R-BIPRU 4.3.48 R, BIPRU 4.3.50 R-BIPRU 4.3.51 R, BIPRU 4.3.54 R, BIPRU 4.3.56 R-BIPRU 4.3.57 R, BIPRU 4.3.63 R, BIPRU 4.3.70 R-BIPRU 4.3.71 R, BIPRU 4.3.73 R-BIPRU 4.3.74 R, BIPRU 4.3.83 R-BIPRU 4.3.85 R, BIPRU 4.3.88 R, BIPRU 4.3.90 R-BIPRU 4.3.92 R, BIPRU 4.3.94 R, BIPRU 4.3.99 R, BIPRU 4.3.103 R, BIPRU 4.3.116 R-BIPRU 4.3.123 R, BIPRU 4.3.125 R-BIPRU 4.3.131 RBIPRU 4.4.6 R-BIPRU 4.4.9 R, BIPRU 4.4.11 R-BIPRU 4.4.13 R, BIPRU 4.4.15 R-BIPRU 4.4.18 R, BIPRU 4.4.21 R-BIPRU 4.4.22 R, BIPRU 4.4.24 R-BIPRU 4.4.25 R, BIPRU 4.4.27 R-BIPRU 4.4.28 R, BIPRU 4.4.30 R-BIPRU 4.4.31 R, BIPRU 4.4.48 R-BIPRU 4.4.51 R, BIPRU 4.4.53 R, BIPRU 4.4.54 R, BIPRU 4.5.5 R, BIPRU 4.6.6 R-BIPRU 4.6.9 R, BIPRU 4.6.11 R-BIPRU 4.6.12 R, BIPRU 4.6.14 R, BIPRU 4.6.18 R, BIPRU 4.6.20 R-BIPRU 4.6.21 R, BIPRU 4.6.24 R-BIPRU 4.6.34 R, BIPRU 4.6.37 R-BIPRU 4.6.39 R, BIPRU 4.7.19 R, BIPRU 4.7.27 R-BIPRU 4.7.35 R, BIPRU 4.8.5 R-BIPRU 4.8.9 R, BIPRU 4.8.11 R-BIPRU 4.8.15 R, BIPRU 4.10.40 R-BIPRU 4.10.48 R.
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a remittance that is part client money and part other money.
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the regulated activity, specified in article 25A(2) of the Regulated Activities Order, which is in summary: making arrangements with a view to a person who participates in the arrangements entering into a regulated mortgage contract as borrower.(see also arranging (in relation to regulated mortgage contracts) and arranging (bringing about) regulated mortgage contracts.)
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(1) (except in CASS 4 and CASS 7) a transaction executed by a firm with or for a client relating to a future, option or contract for differences (or any right to or any interest in such an investment) under the terms of which the client will or may be liable to provide cash or collateral to secure performance of obligations which he may have to perform when the transaction falls to be completed or upon the earlier closing out of his position.